This application form is for Interactive Brokers individual or joint account applicants whose account will be managed by an advisor and who live in Europe or the United Kingdom. Do not use this application if your account will not be managed by an advisor. Do not use this application for a corporate, organization, partnership or trust account. Do not use this application if you do not reside in Europe or the United Kingdom. Please answer ALL required questions. Failure to answer a question or provide a document or signature will delay approval of your account. Please check to ensure that you have completed all of the below steps before you return your application to us: Review Application. Fill Out the Security Question and Answer Section (Page 6). Provide All Required Signatures. Signatures Are Requested On The Following Pages: Page 13 Page 14 Page 16 Provide Instructions For Initial Deposit Of Funds And/Or Securities To Your Account. Include Required Proof Of Identity And Address For Each Account Holder. Proof of Identity for Account Holder Separate Document as Proof of Address for Account Holder Proof of Identity for Joint Account Holder (If Joint Account) Separate Document as Proof of Address for Joint Account Holder (If Joint Account) Return Completed Application Package, Along With Proof Of Identity And Address Documents For Each Account Holder, To Your Advisor Or To Interactive Brokers. If Sending To Interactive Brokers Directly, Use Any Of The Following: IB UK Account Application for Financial Advisor Clients (Individual/Joint) - Sep 04 2008 Page 1/35
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Int eract ive Brokers U.K. Agreements and Di scl os ure Document s IB UK Account Application for Financial Advisor Clients (Individual/Joint) - Sep 04 2008 Page 13/35
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So that we may process your check as quickly as possible, please enter check information in the spaces provided above. If you are not sure what to enter, please see the example below: Please make your check payable to "Interactive Brokers LLC" and make sure the names of all account holders are written on the check (use the Memo line if necessary). Please enclose your check with this completed application. If you are faxing or e-mailing us your completed application and you want to mail the check separately, send it to: IB UK Account Application for Financial Advisor Clients (Individual/Joint) - Sep 04 2008 Page 20/35
This form authorizes the transfer of assets held at a third-party broker to be moved to Interactive Brokers. You must contact your third-party broker to initiate the transfer. Your Account Name, Tax Identification Number, and Customer Type (i.e. individual, joint, Roth IRA) for your Interactive Brokers Account should match the third-party broker account in order for the transfer to take place. Please note that Interactive Brokers accepts only products that it makes available for trading. Certain products, such as Mutual Funds and Limited Partnership units cannot be held in your Interactive Brokers account. Please Note: You should confirm with your sending broker their DTC Participant # so as not to delay the processing of your Free of Payment delivery. IB UK Account Application for Financial Advisor Clients (Individual/Joint) - Sep 04 2008 Page 21/35
You must notify your bank to send a wire. All incoming wires must have the account holder's name (both names if a joint account). Depending on your bank, please allow one to four business days for your funds to be received. For security reasons, incoming funds are held for ten business days before you can withdraw the funds. Use the chart below to determine where to have your bank send the wire transfer, based on the currency of the funds being sent. For wires originating in the same country as the receiving bank listed below, please instruct your bank to send funds via the in-country payment system(s). For wires originating outside the country of the receiving bank, instruct your bank to send funds via SWIFT. Line 59 of the SWIFT message should include Interactive Brokers LLC Bank Account Number at Citibank and Line 70 of the SWIFT message should include your name (IB Account Holder's Name). If funds wired in U.S. Dollars: If funds wired in Australian Dollars: If funds wired in Canadian Dollars: If funds wired in Swiss Francs: If funds wired in British Pounds: If funds wired in Euros: If funds wired in Hong Kong Dollars: IB UK Account Application for Financial Advisor Clients (Individual/Joint) - Sep 04 2008 Page 22/35
If funds wired in Japanese Yen: If funds wired in Mexican Peso: If funds wired in Swedish Crona: Account Transfer from Another Brokerage Firm ( ACATS/ ATON): Complete this section only if you want to initially fund your account through a transfer of assets and/or cash from a U.S. securities broker (ACATS) or a Canadian securities broker (ATON): Please note: The Account Name, Tax Identification Number, and Account Type (i.e. individual, joint, Roth IRA) for your Interactive Brokers account must exactly match the brokerage account from which you are transferring assets in order for the transfer to take place. Also, please note that Interactive Brokers accepts transfers only of assets that IB makes available for trading. Certain products, such as mutual funds and limited partnership units cannot be transferred to or held in your Interactive Brokers account. Instructions for Account Transfer from Another Broker: Customer requests that transferring broker transfer to Interactive Brokers the specified assets in the third-party brokerage account specified above. Customer understands that to the extent any assets are not readily transferable, with or without penalties; such assets may not be transferred within the time frames required by the NYSE Rule 412 or similar rule of NASD or other designated examining body. Unless otherwise indicated, customer authorizes the transferring broker to liquidate any non-transferable proprietary money market fund assets that are part of the account and to transfer the resulting credit balance to Interactive Brokers. Customer authorizes transferring broker to deduct any outstanding fees due from the credit balance in the account. If the account does not contain a credit balance, or if the credit balance is insufficient to satisfy any outstanding fees due, Customer authorizes transferring broker to liquidate the assets in the account necessary to satisfy any obligation. Full Transfer: If you are transferring ALL the assets from another brokerage account into your Interactive Brokers account (full transfer), you do no t need to complete the form below. Partial Transfer: If you are transferring only SOME of the assets from another brokerage account into your Interactive Brokers account (partial transfer), you must list all: 1) stock; 2) options; and 3) cash that you want to transfer. Use the form below and attach additional pages if necessary. Partial Account Transfer Form (use only if you are opening your account by transferring only part of an account with another brokerage firm to Interactive Brokers). Use the lines below and attach additional pages if necessary: IB UK Account Application for Financial Advisor Clients (Individual/Joint) - Sep 04 2008 Page 23/35
Options (Please note, this is not available for ATON C ash - ACATS are available for USD accounts only. ATONs are available for USD and CAD accounts If your broker requires a paper ACAT signature form for transfer, you must send a signed copy of the ACAT portion of your application to your broker. IB UK Account Application for Financial Advisor Clients (Individual/Joint) - Sep 04 2008 Page 24/35
Regulations require Interactive Brokers to obtain documentation verifying the identity of each of its customers. For eac h account holder, we are required to obtain: Please submit a proof of identity document and a separate proof of address document for each account holder (two total documents for an individual account and four total documents for a joint account). Please make sure all documents are clear and readable. Please see further instructions below: IB UK Account Application for Financial Advisor Clients (Individual/Joint) - Sep 04 2008 Page 25/35
Please complete all information required in this application, provide all required signatures for each account holder, and return the entire application to your Financial Advisor or directly to Interactive Brokers. Please make sure to include your required proof of identity and address documents for each account holder. If your advisor has instructed you to send your application directly to Interactive Brokers, you may use any of the methods below: Should you have any questions, please send us an email addressed to newaccounts.uk@interactivebrokers.co.uk or call: 00800-42- 276537 (international toll free) or +41-41-726-9500 (direct dial). IB UK Account Application for Financial Advisor Clients (Individual/Joint) - Sep 04 2008 Page 26/35
How to get a TIN IB UK Account Application for Financial Advisor Clients (Individual/Joint) - Sep 04 2008 Page 27/35
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Persons submitting this form must file an annual U.S. income tax return to report income claimed to be effectively connected with a U.S. trade or business (see instructions). These entities should use Form W-8ECI if they received effectively connected income (e.g., income from commercial activities). IB UK Account Application for Financial Advisor Clients (Individual/Joint) - Sep 04 2008 Page 30/35
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Note: You may use this Part if the entity identified in Part I is a U.S. branch of a foreign bank or insurance company and is subject to certain regulatory requirements (see instructions). IB UK Account Application for Financial Advisor Clients (Individual/Joint) - Sep 04 2008 Page 35/35